Chapter 3

Algorithms for Query Processing and

Optimization
Chapter Outline
1. Introduction to Query Processing
2. Translating SQL Queries into Relational Algebra
3. Algorithms for External Sorting
4. Algorithms for SELECT and JOIN Operations
5. Algorithms for PROJECT and SET Operations
6. Implementing Aggregate Operations and Outer Joins
7. Combining Operations using Pipelining
8. Using Heuristics in Query Optimization
9. Using Selectivity and Cost Estimates in Query Optimization
10. Overview of Query Optimization in Oracle
11. Semantic Query Optimization

2
1. Introduction to Query Processing
 Query optimization: the process of choosing
a suitable execution strategy for processing a
query.
 Two internal representations of a query
 – Query Tree
 – Query Graph

3
Typical steps when
processing a high-
level query

4
2. Translating SQL Queries into Relational
Algebra (1)
 Query block: the basic unit that can be translated
into the algebraic operators and optimized.
 A query block contains a single SELECT-FROM-
WHERE expression, as well as GROUP BY and
HAVING clause if these are part of the block.
 Nested queries within a query are identified as
separate query blocks.
 Aggregate operators in SQL must be included in the
extended algebra.

5
 Translating SQL Queries into Relational
Algebra (2)
SELECT LNAME, FNAME
FROM EMPLOYEE
WHERE SALARY > ( SELECT MAX (SALARY)
FROM EMPLOYEE
WHERE DNO = 5);

SELECT LNAME, FNAME SELECT MAX (SALARY)

FROM EMPLOYEE FROM EMPLOYEE
WHERE SALARY > C WHERE DNO = 5

LNAME, FNAME ℱMAX SALARY

σSALARY>C(EMPLOYEE)) (σDNO=5 (EMPLOYEE))
6
3. Algorithms for External Sorting (1)
 External sorting : refers to sorting algorithms that are
suitable for large files of records stored on disk that do
not fit entirely in main memory, such as most database
files.
 Sort-Merge strategy : starts by sorting small subfiles
(runs ) of the main file and then merges the sorted
runs, creating larger sorted subfiles that are merged in
turn.
– Sorting phase: nR = (b/nB)
– Merging phase: dM = Min(nB-1, nR);
nP= (logdM(nR))
nR: number of initial runs; b: number of file blocks;
nB: available buffer space; dM: degree of merging;
nP: number of passes.

7
Algorithms for External Sorting (2)
set i  1, j  b; /* size of the file in blocks */
k  nB; /* size of buffer in blocks */
m  (j/k); /*number of runs */
{Sort phase}
while (i<= m) do
{
read next k blocks of the file into the buffer or if
there are less than k blocks remaining, then read in
the remaining blocks;
sort the records in the buffer and write as a
temporary subfile;
i  i+1;
}

The number of block accesses for the sort phase = 2*b 8

/*Merge phase: merge subfiles until only 1 remains */
set i  1;
p  logk-1m; /* p is the number of passes for the merging phase */
j  m; /* the number of runs */
while (i<= p) do
{
n  1;
q  (j/(k-1); /* the number of runs to write in this pass */
while ( n <= q) do
{
read next k-1 subfiles or remaining subfiles (from previous pass)
one block at a time
merge and write as new subfile one block at a time;
n  n+1;
}
j  q;
i  i+1;
}
The number of block accesses for the merge phase = 2*(b* logdMnR) 9
 Example of External Sorting (1)
1 block = 2 records

15 22 2 27 14 6 51 18 35 16 50 36 9 8 32 12 11 33 30 30 23 21 24 29

buffer = 3 blocks = 6 records

Sort phase:
Read 3 blocks of the file  sort.
 run: 3 blocks

10
 Example of External Sorting (2)
Sort phase:

15 22 2 27 14 6 51 18 35 16 50 36 9 8 32 12 11 33 30 30 23 21 24 29

15 22 2 27 14 6 2 6 14 15 22 27

2 6 14 15 22 27

1 run

11
 Example of External Sorting (3)
Sort phase

15 22 2 27 14 6 51 18 35 16 50 36 9 8 32 12 11 33 30 30 23 21 24 29

2 6 14 15 22 27 16 18 35 36 50 51 8 9 11 12 32 33 20 21 23 24 29 30

1 run 1 run 1 run 1 run

12
 Example of External Sorting (4)

2 6 14 15 22 27 16 18 35 36 50 51 8 9 11 12 32 33 20 21 23 24 29 30

Merge phase:
Each step:
- Read 1 block from (nB - 1) runs to buffer
- Merge  temp block
- If temp block full: write to file
- If any empty block: Read next block from
corresponding run

13
 Example of External Sorting (5)
Merge phase: Pass 1
2 6 14 15 22 27 16 18 35 36 50 51 8 9 11 12 32 33 20 21 23 24 29 30

2 6 16 18 6 16 18 2 16 18 2 6

Temp block Empty  read next Full

block from  write
corresponding run to file

14
 Example of External Sorting (6)
Merge phase: Pass 1
2 6 14 15 22 27 16 18 35 36 50 51 8 9 11 12 32 33 20 21 23 24 29 30

14 15 16 18 15 16 18 14 16 18 14 15

Temp block Empty  read next Full

block from  write to file
corresponding run

2 6

15
 Example of External Sorting (7)
Merge phase: Pass 1
2 6 14 15 22 27 16 18 35 36 50 51 8 9 11 12 32 33 20 21 23 24 29 30

Empty  read next

block from
corresponding run

22 27 16 18 22 27 18 16 22 27 16 18

Temp block Full

 write to file

2 6 14 15

16
 Example of External Sorting (8)
Merge phase: Pass 1
2 6 14 15 22 27 16 18 35 36 50 51 8 9 11 12 32 33 20 21 23 24 29 30

Empty  read next

block from
corresponding run

22 27 35 36 27 35 36 22 35 36 22 27

Temp block Full

 write to file

2 6 14 15 16 18

17
 Example of External Sorting (9)
Merge phase: Pass 1
2 6 14 15 22 27 16 18 35 36 50 51 8 9 11 12 32 33 20 21 23 24 29 30

Not have any block=> remove this run

from this merge step => write remain
blocks of the others run to file.

35 36

Temp block

2 6 14 15 16 18 22 27

18
 Example of External Sorting (10)
Merge phase: Pass 1
2 6 14 15 22 27 16 18 35 36 50 51 8 9 11 12 32 33 20 21 23 24 29 30

Temp block
1 new run

2 6 14 15 16 18 22 27 35 36 50 51

19
 Example of External Sorting (11)
Merge phase: Pass 2
2 6 14 15 16 18 22 27 35 36 50 51 8 9 11 12 20 21 23 24 29 30 32 33

2 6 8 9 6 8 9 2 8 9 2 6

Temp block Empty  read next Full

block from  write to file
corresponding run

20
 Example of External Sorting (12)
Merge phase: Pass 2
2 6 14 15 16 18 22 27 35 36 50 51 8 9 11 12 20 21 23 24 29 30 32 33

14 15 8 9

Temp block

2 6

21
 Example of External Sorting (13)

Result:
2 6 8 9 11 12 14 15 16 18 21 22 23 24 27 29 30 30 32 33 35 36 50 51

22
4. Algorithms for SELECT and JOIN
Operations (1)
Implementing the SELECT Operation:
Examples:
 (OP1): σSSN='123456789'(EMPLOYEE)
 (OP2): σDNUMBER>5(DEPARTMENT)
 (OP3): σDNO=5(EMPLOYEE)
 (OP4): σDNO=5 AND SALARY>30000 AND SEX=F(EMPLOYEE)
 (OP5): σESSN='123456789' AND PNO=10(WORKS_ON)

23
Algorithms for SELECT and JOIN (2)
Implementing the SELECT Operation (cont.):
Search Methods for Simple Selection:
 S1. Linear search (brute force): Retrieve every
record in the file, and test whether its attribute values
satisfy the selection condition.
 S2. Binary search : If the selection condition involves
an equality comparison on a key attribute on which the
file is ordered, binary search (which is more efficient
than linear search) can be used. (See OP1).
 S3. Using a primary index or hash key to retrieve a
single record: If the selection condition involves an
equality comparison on a key attribute with a primary
index (or a hash key), use the primary index (or the
hash key) to retrieve the record.

24
Algorithms for SELECT and JOIN
Operations (3)
Implementing the SELECT Operation (cont.):
Search Methods for Simple Selection:
 S4. Using a primary index to retrieve multiple
records: If the comparison condition is >, ≥ , <, or ≤
on a key field with a primary index, use the index to
find the record satisfying the corresponding equality
condition, then retrieve all subsequent records in the
(ordered) file.
 S5. Using a clustering index to retrieve multiple
records: If the selection condition involves an
equality comparison on a non-key attribute with a
clustering index, use the clustering index to retrieve
all the records satisfying the selection condition.

25
Algorithms for SELECT and JOIN
Operations (4)
Implementing the SELECT Operation (cont.):
Search Methods for Simple Selection:
 S6. Using a secondary (B+-tree) index : On an
equality comparison, this search method can be used
to retrieve a single record if the indexing field has
unique values (is a key) or to retrieve multiple records
if the indexing field is not a key. In addition, it can be
used to retrieve records on conditions involving >,>=,
<, or <=. (FOR RANGE QUERIES )

26
Algorithms for SELECT and JOIN (5)
Implementing the SELECT Operation (cont.):
Search Methods for Complex Selection:
 S7. Conjunctive (AND) selection : If an attribute
involved in any single simple condition in the
conjunctive condition has an access path that permits
the use of one of the methods S2 to S6, use that
condition to retrieve the records and then check
whether each retrieved record satisfies the remaining
simple conditions in the conjunctive condition.
 S8. Conjunctive selection using a composite
index: If two or more attributes are involved in equality
conditions in the conjunctive condition and a
composite index (or hash structure) exists on the
combined field, we can use the index directly.
27
Algorithms for SELECT and JOIN (6)
Implementing the SELECT Operation (cont.):
Search Methods for Complex Selection:
 S9. Conjunctive selection by intersection of record
pointers : This method is possible if:
 secondary indexes are available on all (or some of) the fields
involved in equality comparison conditions in the conjunctive
condition and
 the indexes include record pointers (rather than block pointers).

 Each index can be used to retrieve the set of record

pointers that satisfy the individual condition.
 The intersection of these sets of record pointers:
record pointers that satisfy the conjunctive condition,
which are then used to retrieve those records directly.
 If only some of the conditions have secondary indexes,
each retrieved record is further tested to determine
whether it satisfies the remaining conditions.
28
Algorithms for SELECT and JOIN
Operations (7)
Implementing the SELECT Operation (cont.):
 Whenever a single condition specifies the selection, we can
only check whether an access path exists on the attribute
involved in that condition. If an access path exists, the method
corresponding to that access path is used; otherwise, the “brute
force” linear search approach of method S1 is used. (See OP1,
OP2 and OP3)
 For conjunctive selection conditions, whenever more than
one of the attributes involved in the conditions have an access
path, query optimization should be done to choose the access
path that retrieves the fewest records in the most efficient way.
 Disjunctive (OR) selection conditions

29
Algorithms for SELECT and JOIN
Operations (8)
Implementing the JOIN Operation:
 Join (EQUIJOIN, NATURAL JOIN)

– two–way join: a join on two files

e.g. R A=B S
– multi-way joins: joins involving more than two files.
e.g. R A=B S C=DT
 Examples

(OP6): EMPLOYEE DNO=DNUMBERDEPARTMENT

(OP7): DEPARTMENT MGRSSN=SSNEMPLOYEE

30
Algorithms for SELECT and JOIN
Operations (9)
Implementing the JOIN Operation (cont.):
Methods for implementing joins:
 J1. Nested-loop join (brute force): For each record t
in R (outer loop), retrieve every record s from S (inner
loop) and test whether the two records satisfy the join
condition t[A] = s[B].
 J2. Single-loop join (Using an access structure to
retrieve the matching records): If an index (or hash
key) exists for one of the two join attributes — say, B
of S — retrieve each record t in R, one at a time, and
then use the access structure to retrieve directly all
matching records s from S that satisfy s[B] = t[A].

31
Algorithms for SELECT and JOIN
Operations (10)
Implementing the JOIN Operation (cont.):
Methods for implementing joins:
 J3. Sort-merge join: If the records of R and S are
physically sorted (ordered) by value of the join
attributes A and B, respectively, we can implement the
join in the most efficient way possible. Both files are
scanned in order of the join attributes, matching the
records that have the same values for A and B. In this
method, the records of each file are scanned only
once each for matching with the other file—unless
both A and B are non-key attributes, in which case the
method needs to be modified slightly.

32
Algorithms for SELECT and JOIN Operations (12)
sort the tuples in R on attribute A; /* assume R has n tuples */
sort the tuples in S on attribute B; /* assume S has m tuples */
set i  1, j  1;
while (i ≤ n) and (j ≤ m)
do { if R(i)[A] > S(j)[B]
then set j  j + 1
elseif R(i)[A] < S(j)[B]
then set i  i + 1
else { /* output a matched tuple */
output the combined tupe <R(i), S(j)> to T;
/* output other tuples that match R(i), if any */
set l  j + 1 ;
while ( l ≤ m) and (R(i)[A] = S(l)[B])
do { output the combined tuple <R(i), S(l)> to T;
set l  l + 1
}
/* output other tuples that match S(j), if any */
set k  i+1
while ( k ≤ n) and (R(k)[A] = S(j)[B])
do { output the combined tuple <R(k), S(j)> to T;
set k  k + 1
}
set i  i+1, j  j+1;
}
}

Implementing Sort-Merge Join (J3): T  R A=B S 33

 R S

C A B D

5 4
6 6
9 6
10 10
17 17
20 18

Assume that A is a key of R. Initially, two pointers are used

to point to the two tuples of the two relations that have the
smallest values of the two joining attributes.

34
 R S
R(i)[A] > S(j)[B]
C A B D

5 4
6 6
9 6
10 10
17 17
20 18

35
 R S
R(i)[A] < S(j)[B]
C A B D

5 4
6 6
9 6
10 10
17 17
20 18

36
 R S
R(i)[A] = S(j)[B]
C A B D

5 4  R(2), S(2)
6 6
9 6
10 10
17 17
20 18

37
 R S
R(i)[A] = S(j)[B]
C A B D

5 4  R(2), S(3)
6 6
9 6
10 10
17 17
20 18

38
 R S
R(i)[A] < S(j)[B]
C A B D

5 4
6 6
9 6
10 10
17 17
20 18

39
 R S
R(i)[A] < S(j)[B]
C A B D

5 4
6 6
9 6
10 10
17 17
20 18

40
 R S
R(i)[A] = S(j)[B]
C A B D

5 4  R(4), S(4)
6 6
9 6
10 10
17 17
20 18

41
 R S
R(i)[A] < S(j)[B]
C A B D

5 4
6 6
9 6
10 10
17 17
20 18

42
 R S
R(i)[A] = S(j)[B]
C A B D

5 4  R(5), S(5)
6 6
9 6
10 10
17 17
20 18

43
 R S
R(i)[A] < S(j)[B]
C A B D

5 4
6 6
9 6
10 10
17 17
20 18

44
 R S
R(i)[A] > S(j)[B]
C A B D

5 4
6 6
9 6
10 10
17 17
20 18

45
 R S
j > m  end.
C A B D

5 4
6 6
9 6
10 10
17 17
20 18

Implementing Sort-Merge Join (J3): T  R A=B S

Result: C A B D
R(2), S(2) 6 6
R(2), S(3) 6 6
R(4), S(4) 10 10
R(5), S(5) 17 17

46
Algorithms for SELECT and JOIN
Operations (11)
Implementing the JOIN Operation (cont.):
Methods for implementing joins:
 J4. Hash-join: The records of files R and S are both
hashed to the same hash file, using the same
hashing function on the join attributes A of R and B of
S as hash keys. A single pass through the file with
fewer records (say, R) hashes its records to the hash
file buckets. A single pass through the other file (S)
then hashes each of its records to the appropriate
bucket, where the record is combined with all
matching records from R.

47
5. Algorithms for PROJECT and SET
Operations (1)
 Algorithm for PROJECT operations π<attribute list>(R)
(Figure 19.3b)

 If <attribute list> has a key of relation R, extract all tuples from R

with only the values for the attributes in <attribute list>.
 If <attribute list> does NOT include a key of relation R, duplicated
tuples must be removed from the results.
 Methods to remove duplicate tuples:
 1. Sorting
 2. Hashing

48
Implementing T  ∏<attribute list>(R)
create a tuple t[<attribute list>] in T’ for each tuple t in R;
/* T’ contains the projection result before duplicate elimination */
if <attribute list> includes a key of R
then T  T’
else { sort the tuples in T’;
set i  1, j  2;
while i ≤ n
do { output the tuple T’[i] to T;
while T’[i] = T’[j] and j ≤ n do j  j+1;
set i  j, j  i+1;
}
}
/* T contains the projection result after duplicate elimination */

Implementing T  ∏<attribute list>(R)

49
Algorithms for PROJECT and SET
Operations (2)
Algorithm for SET operations
 Set operations : UNION, INTERSECTION, SET DIFFERENCE
and CARTESIAN PRODUCT.
 CARTESIAN PRODUCT of relations R and S includes all
possible combinations of records from R and S. The attributes of
the result include all attributes of R and S.
 Cost analysis of CARTESIAN PRODUCT If R has n records and
j attributes and S has m records and k attributes, the result
relation will have n*m records and j+k attributes.
 CARTESIAN PRODUCT operation is very expensive and should
be avoided if possible.

50
Algorithms for PROJECT and SET
Operations (3)
 Algorithm for SET operations (Cont.)

 UNION (See Figure 19.3c)

 1. Sort the two relations on the same attributes.

 2. Scan and merge both sorted files concurrently, whenever the

same tuple exists in both relations, only one is kept in the merged
results.
 INTERSECTION (See Figure 19.3d)
 1. Sort the two relations on the same attributes.

 2. Scan and merge both sorted files concurrently, keep in the

merged results only those tuples that appear in both relations.
 SET DIFFERENCE R-S (See Figure 19.3e)(keep in the merged
results only those tuples that appear in relation R but not in
relation S.)

51
Union: T  R  S
sort the tuples in R and S using the same unique sort attributes;
set i  1, j  1;
while (i ≤ n) and (j ≤ m) do
{
if R(i) > S(j)
then
{ output S(j) to T;
set j  j+1
}
else if R(i) < S(j)
then
{ output R(i) to T;
set i  i+1
}
else set j j+1 /* R(i) = S(j), so we skip one of the duplicate tuples */
}
if (i ≤ n) then add tuples R(i) to R(n) to T;
if (j ≤ m) then add tuples S(j) to S(m) to T;

52
Intersection T  R  S
sort the tuples in R and S using the same unique sort attributes;
set i  1, j  1;
while (i ≤ n) and (j ≤ m) do
{
if R(i) > S(j)
then
set j  j+1
else if R(i) < S(j)
then
set i  i+1
else
{ output R(i) to T; /* R(i) = S(j), so we output the tuple */
set i  i+1, j j+1
}
}

53
Difference T  R  S
sort the tuples in R and S using the same unique sort attributes;
set i  1, j  1;
while (i ≤ n) and (j ≤ m) do
{
if R(i) > S(j)
then
set j  j+1
else if R(i) < S(j)
then
{ output R(i) to T; /* R(i) has no matching S(j), so output R(i) */
set i  i+1
}
else
set i  i+1, j j+1
}
if (i ≤ n) then add tuples R(i) to R(n) to T;

54
6. Implementing Aggregate Operations
and Outer Joins (1)
Implementing Aggregate Operations:
 Aggregate operators : MIN, MAX, SUM, COUNT and AVG

 Options to implement aggregate operators:

 Table Scan
 Index
 Example

SELECT MAX(SALARY) FROM EMPLOYEE;

 If an (ascending) index on SALARY exists for the employee relation,

then the optimizer could decide on traversing the index for the
largest value, which would entail following the right most pointer in
each index node from the root to a leaf.

55
Implementing Aggregate Operations and
Outer Joins (2)
 Implementing Aggregate Operations (cont.):
 SUM, COUNT and AVG
 1. For a dense index (each record has one index entry):
apply the associated computation to the values in the index.
 2. For a non-dense index: actual number of records associated
with each index entry must be accounted for
 With GROUP BY: the aggregate operator must be applied
separately to each group of tuples.
 1. Use sorting or hashing on the group attributes to partition the
file into the appropriate groups;
 2. Compute the aggregate function for the tuples in each group.

 What if we have Clustering index on the grouping attributes?

56
Implementing Aggregate Operations and
Outer Joins (3)
 Implementing Outer Join:
 Outer Join Operators : LEFT OUTER JOIN, RIGHT OUTER
JOIN and FULL OUTER JOIN.
 The full outer join produces a result which is equivalent to the
union of the results of the left and right outer joins.
 Example:
SELECT FNAME, DNAME
FROM ( EMPLOYEE LEFT OUTER JOIN DEPARTMENT ON
DNO = DNUMBER);
 Note: The result of this query is a table of employee names and
their associated departments. It is similar to a regular join result,
with the exception that if an employee does not have an
associated department, the employee's name will still appear in
the resulting table, although the department name would be
indicated as null.

57
Implementing Aggregate Operations and
Outer Joins (4)
 Implementing Outer Join (cont.):
 Modifying Join Algorithms:
Nested Loop or Sort-Merge joins can be modified to
implement outer join. e.g., for left outer join, use the
left relation as outer loop and construct result from
every tuple in the left relation. If there is a match, the
concatenated tuple is saved in the result. However,
if an outer tuple does not match, then the tuple is
still included in the result but is padded with a null
value(s).

58
Implementing Aggregate Operations and
Outer Joins (5)
 Implementing Outer Join (cont.):

Executing a combination of relational algebra operators.

Implement the previous left outer join example
1. {Compute the JOIN of the EMPLOYEE and DEPARTMENT tables}
TEMP1   FNAME,DNAME(EMPLOYEE DNO=DNUMBER DEPARTMENT)
2. {Find the EMPLOYEEs that do not appear in the JOIN}
TEMP2   FNAME(EMPLOYEE) -  FNAME(Temp1)
3. {Pad each tuple in TEMP2 with a null DNAME field}
TEMP2  TEMP2 x 'null'
4. {UNION the temporary tables to produce the LEFT OUTER JOIN result}
RESULT  TEMP1  TEMP2

The cost of the outer join, as computed above, would include the cost of the
associated steps (i.e., join, projections, set difference and union).

59
7. Combining Operations using Pipelining (1)
 Motivation
 A query is mapped into a sequence of operations.

 Each execution of an operation produces a temporary

result.
 Generating and saving temporary files on disk is time
consuming and expensive.
 Alternative:
 Avoid constructing temporary results as much as
possible.
 Pipeline the data through multiple operations - pass
the result of a previous operator to the next without
waiting to complete the previous operation.

60
Combining Operations using Pipelining (2)
 Example: 2-way join, 2 selections on the
input files and one final projection on the
resulting file.
 Dynamic generation of code to allow for
multiple operations to be pipelined.
 Results of a select operation are fed in a

" Pipeline " to the join algorithm.

 Also known as stream-based processing.

61
8. Using Heuristics in Query Optimization(1)
Process for heuristics optimization
 1. The parser of a high-level query generates an
initial internal representation;
 2. Apply heuristics rules to optimize the internal
representation.
 3. A query execution plan is generated to execute
groups of operations based on the access paths
available on the files involved in the query.
 The main heuristic is to apply first the operations
that reduce the size of intermediate results.
E.g., Apply SELECT and PROJECT operations
before applying the JOIN or other binary operations.

62
Using Heuristics in Query Optimization (2)

 Query tree : a tree data structure that corresponds to a relational

algebra expression. It represents the input relations of the query
as leaf nodes of the tree, and represents the relational algebra
operations as internal nodes.

 An execution of the query tree consists of executing an internal

node operation whenever its operands are available and then
replacing that internal node by the relation that results from
executing the operation.

 Query graph : a graph data structure that corresponds to a

relational calculus expression. It does not indicate an order on
which operations to perform first. There is only a single graph
corresponding to each query.

63
Using Heuristics in Query Optimization (3)
 Example:
For every project located in ‘Stafford’, retrieve the project number,
the controlling department number and the department manager’s
last name, address and birthdate.
 Relation algebra :
 PNUMBER, DNUM, LNAME, ADDRESS, BDATE(((σPLOCATION=‘STAFFORD’(PROJECT))
DNUM=DNUMBER (DEPARTMENT))  MGRSSN=SSN (EMPLOYEE))
 SQL query :
Q2: SELECT P.NUMBER, P.DNUM,E.LNAME, E.ADDRESS,
E.BDATE
FROM PROJECT AS P, DEPARTMENT AS D, EMPLOYEE AS E
WHERE P.DNUM=D.DNUMBER AND D.MGRSSN=E.SSN AND
P.PLOCATION=‘STAFFORD’;

64
Two query trees for the query Q2

65
Query graph for Q2

66
Using Heuristics in Query Optimization (6)
Heuristic Optimization of Query Trees:

 The same query could correspond to many different relational

algebra expressions — and hence many different query trees.

 The task of heuristic optimization of query trees is to find a final

query tree that is efficient to execute.

 Example :

Q: SELECT LNAME

FROM EMPLOYEE, WORKS_ON,PROJECT

WHERE PNAME = ‘AQUARIUS’ AND PNMUBER=PNO

AND ESSN=SSN AND BDATE > ‘1957-12-31’;

67
Step in converting a query during heuristic optimization.

Step 1: Initial (canonical) query tree for SQL query Q.

68
Step 2: Moving SELECT operations down the query tree.

69
Step 3: Apply more restrictive SELECT operation first

70
Step 4: Replacing Cartesian Product and Select with Join operation.

71
Step 5: Moving Project operations down the query tree

72
Using Heuristics in Query Optimization (10)
General Transformation Rules for Relational Algebra Operations:

 1. Cascade of σ : A conjunctive selection condition can be broken

up into a cascade (sequence) of individual selection operations:
σc1 AND c2 AND ... AND cn(R) = σc1(σc2(...( σcn(R))...) )

 2.Commutativity of σ : The σ operation is commutative:

σc1(σc2(R)) = σc2(σc1(R))

 3. Cascade of π : In a cascade (sequence) of π operations, all but

the last one can be ignored:
πList1(π List2(...( πListn (R))...) ) = π List1(R)

 4. Commuting σ with π : If the selection condition c involves only the

attributes A1, ..., An in the projection list, the two operations can be
commuted:
πA1, A2,., An(σc(R)) = σc(πA1, A2,., An (R))

73
Using Heuristics in Query Optimization (11)
General Transformation Rules for Relational Algebra Operations:
(cont.):

 5.Commutativity of  ( and  ): The operation is commutative as

the  operation: R  S = S  R; R  S = S  R
 6. Commuting σ with  (or  ): If all the attributes in the
selection condition c involve only the attributes of one of the
relations being joined - say, R- the two operations can be commuted
as follows :
σc( R  S ) = (σc(R))  S
 Alternatively, if the selection condition c can be written as (c1 and
c2), where condition c1 involves only the attributes of R and
condition c2 involves only the attributes of S, the operations
commute as follows:

σc( R  S ) = (σc1(R))  (σc2(S))

74
Using Heuristics in Query Optimization (12)
General Transformation Rules for Relational Algebra Operations
(cont.):

 7. Commuting π with  (or  ): Suppose that the

projection list is L = {A1, ..., An, B1, ..., Bm}, where A1,
..., An are attributes of R and B1, ..., Bm are attributes
of S. If the join condition c involves only attributes in L,
the two operations can be commuted as follows:
πL( R CS ) = (πA1, ..., An(R)) C(πB1, ..., Bm(S))

 If the join condition c contains additional attributes not

in L, these must be added to the projection list, and a
final operation is needed.

75
Using Heuristics in Query Optimization (13)
General Transformation Rules for Relational Algebra Operations
(cont.):

 8. Commutativity of set operations: The set operations 

and ∩ are commutative but – is not.
 9. Associativity of , x,  , and ∩ : These four operations
are individually associative; that is, if q stands for any
one of these four operations (throughout the expression),
we have (RqS)qT = Rq(SqT)
 10. Commuting  with set operations: The  operation
commutes with  , ∩ , and –. If q stands for any one of
these three operations, we have
c ( R q S ) = (c (R)) q (c (S))

76
Using Heuristics in Query Optimization (14)

General Transformation Rules for Relational Algebra Operations

(cont.):

 11. The π operation commutes with .

πL( R  S ) = (πL(R))  (πL(S))
 12. Converting a (σ,  ) sequence into  : If the condition c of a
σ that follows a  corresponds to a join condition, convert the
(σ,  ) sequence into a  as follows:
(σC(R  S)) = (R  C S)
 13. Other transformations

77
Using Heuristics in Query Optimization (15)
Outline of a Heuristic Algebraic Optimization Algorithm
 1. Using rule 1, break up any select operations with
conjunctive conditions into a cascade of select operations.
 2. Using rules 2, 4, 6, and 10 concerning the commutativity
of select with other operations, move each select operation as
far down the query tree as is permitted by the attributes
involved in the select condition.
 3. Using rule 9 concerning associativity of binary
operations, rearrange the leaf nodes of the tree so that the
leaf node relations with the most restrictive select operations
are executed first in the query tree representation.
 4. Using Rule 12, combine a cartesian product operation
with a subsequent select operation in the tree into a join
operation.
78
Using Heuristics in Query Optimization (16)
Outline of a Heuristic Algebraic Optimization
Algorithm (cont.)

 5. Using rules 3, 4, 7, and 11 concerning the

cascading of project and the commuting of project
with other operations, break down and move lists of
projection attributes down the tree as far as possible
by creating new project operations as needed.

 6. Identify subtrees that represent groups of

operations that can be executed by a single
algorithm.

79
Using Heuristics in Query Optimization (17)
Summary of Heuristics for Algebraic Optimization:
 1.The main heuristic is to apply first the operations that reduce
the size of intermediate results.
 2. Perform select operations as early as possible to reduce the
number of tuples and perform project operations as early as
possible to reduce the number of attributes. (This is done by
moving select and project operations as far down the tree as
possible.)
 3. The select and join operations that are most restrictive should
be executed before other similar operations. (This is done by
reordering the leaf nodes of the tree among themselves and
adjusting the rest of the tree appropriately.)

80
Using Heuristics in Query Optimization (17)
Query Execution Plans
 An execution plan for a relational algebra query consists of a
combination of the relational algebra query tree and
information about the access methods to be used for each
relation as well as the methods to be used in computing the
relational operators stored in the tree.

 Materialized evaluation: The result of an operation is stored

as a temporary relation.

 Pipelined evaluation: as the result of an operator is

produced, it is forwarded to the next operator in sequence.

81
9. Using Selectivity and Cost Estimates in
Query Optimization (1)
 Cost-based query optimization: Estimate and
compare the costs of executing a query using
different execution strategies and choose the
strategy with the lowest cost estimate.

 Issues
 Cost function
 Number of execution strategies to be considered

82
Using Selectivity and Cost Estimates in Query
Optimization (2)
Cost Components for Query Execution
 1. Access cost to secondary storage

 2. Storage cost

 3. Computation cost

 4. Memory usage cost

 5. Communication cost

Note: Different database systems may focus on

different cost components.

83
Using Selectivity and Cost Estimates in
Query Optimization (3)
Catalog Information Used in Cost Functions
 Information about the size of a file
 number of records (tuples) (r),

 record size (R),

 number of blocks (b)

 blocking factor (bfr)

 Information about indexes and indexing attributes of a file

 Number of levels (x) of each multilevel index
 Number of first-level index blocks (bI1)

 Number of distinct values (d) of an attribute

 Selectivity (sl) of an attribute

 Selection cardinality (s) of an attribute. (s = sl * r)

84
Using Selectivity and Cost Estimates in Query
Optimization (4)
Examples of Cost Functions for SELECT
 S1. Linear search (brute force) approach

CS1a= b;
For an equality condition on a key, C S1b = (b/2) if the record is
found; otherwise CS1a= b.
 S2. Binary search :
CS2= log2b + ┌ (s/bfr) ┐- 1
For an equality condition on a unique (key) attribute,
CS2 =log2b
 S3. Using a primary index (S3a) or hash key (S3b) to retrieve a
single record
CS3a= x + 1; CS3b = 1 for static or linear hashing;
CS3b = 2 for extendible hashing;

85
Using Selectivity and Cost Estimates in Query
Optimization (5)
Examples of Cost Functions for SELECT (cont.)

 S4. Using an ordering index to retrieve multiple records:

For the comparison condition on a key field with an ordering index,
CS4= x + (b/2)
 S5. Using a clustering index to retrieve multiple records for an
equality condition:
CS5= x + ┌ (s/bfr) ┐
 S6. Using a secondary (B+-tree) index:
For an equality comparison, CS6a= x + s (option 1 & 2);
CS6a= x + s + 1 (option 3);
For a comparison condition such as >, <, >=, or <=,
CS6b= x + (bI1/2) + (r/2)

86
Using Selectivity and Cost Estimates in
Query Optimization (6)
Examples of Cost Functions for SELECT (cont.)

 S7. Conjunctive selection:

Use either S1 or one of the methods S2 to S6 to solve.
For the latter case, use one condition to retrieve the records and
then check in the memory buffer whether each retrieved record
satisfies the remaining conditions in the conjunction.

 S8. Conjunctive selection using a composite index:

Same as S3a, S5 or S6a, depending on the type of index.

87
Example
 rE = 10,000 , bE = 2000 , bfrE = 5
 Access paths:
 1. A clustering index on SALARY, with levels xSALARY = 3 and
average selection cardinality SSALARY = 20.
 2. A secondary index on the key attribute SSN, with xSSN = 4
(SSSN = 1).
 3. A secondary index on the nonkey attribute DNO, with xDNO= 2
and first-level index blocks bI1DNO= 4. There are dDNO = 125
distinct values for DNO, so the selection cardinality of DNO is
SDNO = (r/dDNO) = 80.
 4. A secondary index on SEX, with xSEX = 1. There are dSEX = 2
values for the sex attribute, so the average selection cardinality is
SSEX = (r/dSEX) = 5000.

88
Example

 (op1): σSSN='123456789' (EMPLOYEE)

 CS1b = 1000
 CS6a = xSSN + 1 = 4+1 = 5

 (op2): σDNO>5 (EMPLOYEE)

 CS1a = 2000
 CS6b = xDNO + (bl1DNO/2) + (r/2) = 2 + 4/2 + 10000/2 = 5004

89
Example
 (op3): σDNO=5 (EMPLOYEE)

 CS1a = 2000
 CS6a = xDNO + sDNO = 2 + 80 = 82

 (op4): σDNO=5 AND SALARY>30000 AND SEX='F' (EMPLOYEE)

 CS6a-DNO = 82
 CS4-SALARY = xSALARY + (b/2) = 3 + 2000/2 = 1003
 CS6a-SEX = xSEX + sSEX = 1 + 5000 = 5001

 => chose DNO=5 first and check the other conditions

90
Using Selectivity and Cost Estimates in
Query Optimization (7)
Examples of Cost Functions for JOIN

 Join selectivity (js)

js = | (R C S) | / | R x S | = | (R C S) | / (|R| * |S |)

If condition C does not exist, js = 1;

If no tuples from the relations satisfy condition C, js = 0;
Usually, 0 <= js <= 1 ;

Size of the result file after join operation

| (R C S) | = js * |R| * |S |

91
Using Selectivity and Cost Estimates in
Query Optimization (8)
Examples of Cost Functions for JOIN (cont.)

 J1. Nested-loop join:

CJ1 = bR+ (bR*bS) + ((js* |R|* |S|)/bfrRS)
(Use R for outer loop)

 J2. Single-loop join(using an access structure to retrieve the

matching record(s))
If an index exists for the join attribute B of S with index levels
xB, we can retrieve each record s in R and then use the index to
retrieve all the matching records t from S that satisfy t[B] = s[A].
The cost depends on the type of index.

92
Using Selectivity and Cost Estimates in
Query Optimization (9)
Examples of Cost Functions for JOIN (cont.)
 J2. Single-loop join (cont.)

For a secondary index,

CJ2a = bR+ (|R| * (xB+ sB)) + ((js* |R|* |S|)/bfrRS);
For a clustering index,
CJ2b = bR + (|R| * (xB+ (sB/bfrB))) + ((js* |R|* |S|)/bfrRS);
For a primary index,
CJ2c = bR + (|R| * (xB+ 1)) + ((js* |R|* |S|)/bfrRS);
If a hash key exists for one of the two join attributes — B of S
CJ2d = bR + (|R| * h) + ((js* |R|* |S|)/bfrRS);
h: the average number of block accesses to retrieve a record, given its hash key value,
h>=1
 J3. Sort-merge join:
CJ3a = CS + bR+ bS + ((js* |R|* |S|)/bfrRS); (CS: Cost for sorting files)
93
Example

 Suppose that we have the EMPLOYEE file described in

the previous example
 Assume that the DEPARTMENT file of rD = 125 and bD =
13 , xDNUMBER = 1, secondary index on MGRSSN of
DEPARTMENT, sMGRSSN = 1, xMGRSSN = 2, jsOP6 =
(1/IDEPARTMENTI ) = 1/125 , bfrED = 4

 (op6): EMPLOYEE  DNO=DNUMBER DEPARTMENT

 (op7): DEPARTMENT  MGRSSN=SSNEMPLOYEE

94
DEPARTMENT: rD = 125 and bD = 13 , xDNUMBER = 1, primary index on DNUMBER of
Example
DEPARTMENT, xDNUMBER = 1, jsOP6 = (1/IDEPARTMENTI ) = 1/rD = 1/125 , bfrED = 4
EMPLOYEE : rE = 10000, bE = 2000, secondary index on the nonkey attribute DNO,
xDNO = 2, SDNO = 80).

 (op6): EMPLOYEE  DNO=DNUMBER DEPARTMENT

 Method J1 with Employee as outer:
 CJ1 = bE + (bE * bD) + ((jsOP6 * rE * rD)/bfrED)
 = 2000 + (2000 * 13) + (((1/125) * 10,000 * 125)/4) =30,500
 Method J1 with Department as outer:
 CJ1 = bD + (bE * bD) + (((jsOP6 * rE * rD)/bfrED)
 = 13 + (13 * 2000) + (((1/125) * 10,000 * 125/4) = 28,513
 Method J2 with EMPLOYEE as outer loop:
 CJ2c = bE + (rE * (xDNUMBER + 1)) + ((jsOP6 * rE * rD)/bfrED
 = 2000 + (10,000 * 2) + (((1/125) * 10,000 * 125/4) = 24,500
 Method J2 with DEPARTMENT as outer loop:
 CJ2a = bD + (rD * (xDNO+ sDNO)) + ((jsOP6 * rE * rD)/bfrED)
 = 13 + (125 * (2 + 80)) + (((1/125) * 10,000 * 125/4) = 12,763

95
DEPARTMENT: rD = 125 and bD = 13 , xDNUMBER = 1, secondary index on MGRSSN of

Example
DEPARTMENT, sMGRSSN = 1, xMGRSSN = 2, jsOP7 = (1/IEMPLOYEEI ) = 1/rE = 1/10,000
, bfrED = 4
EMPLOYEE : : rE = 10000, bE = 2000, secondary index on the key attribute SSN, with
xSSN = 4 (SSSN = 1).
 (op7): DEPARTMENT  MGRSSN=SSNEMPLOYEE
 Method J1 with Employee as outer:
 CJ1 = bE + (bE * bD) + ((jsOP7 * rE * rD)/bfrED)
 = 2000 + (2000 * 13) + (((1/10,000) * 10,000 * 125)/4) = ┌28,031.25┐ = 28,032
 Method J1 with Department as outer:
 CJ1 = bD + (bE * bD) + (((jsOP7 * rE * rD)/bfrED)
 = 13 + (13 * 2000) + (((1/10,000) * 10,000 * 125/4) = ┌ 26,044.25 ┐ = 26,045
 Method J2 with EMPLOYEE as outer loop:
 CJ2c = bE + (rE * (xMGRSSN + sMGRSSN)) + ((jsOP7 * rE * rD)/bfrED
 = 2000 + (10,000 * (2+1)) + (((1/10,000) * 10,000 * 125/4) = ┌ 32,031.25 ┐ = 32,032
 Method J2 with DEPARTMENT as outer loop:
 CJ2a = bD + (rD * (xSSN+ sSSN)) + ((jsOP7 * rE * rD)/bfrED)
 = 13 + (125 * (4 + 1)) + (((1/10,000) * 10,000 * 125/4) = ┌ 669.25 ┐ = 670

96
Using Selectivity and Cost Estimates in
Query Optimization (10)
Multiple Relation Queries and Join Ordering
 A query joining n relations will have n-1 join
operations, and hence can have a large number of
different join orders when we apply the algebraic
transformation rules.
 Current query optimizers typically limit the structure
of a (join) query tree to that of left-deep (or right-
deep) trees.
 Left-deep tree : a binary tree where the right child
of each non-leaf node is always a base relation.
 Amenable to pipelining
 Could utilize any access paths on the base relation (the
right child) when executing the join.

97
Using Selectivity and Cost Estimates in
Query Optimization (11)
 Example: 2 left-deep trees
10. Overview of Query Optimization in Oracle

 Oracle DBMS V8
 Rule-based query optimization: the optimizer chooses
execution plans based on heuristically ranked operations.
 (Currently it is being phased out)
 Cost-based query optimization: the optimizer examines
alternative access paths and operator algorithms and
chooses the execution plan with lowest estimate cost.
 The query cost is calculated based on the estimated usage of
resources such as I/O, CPU and memory needed.
 Application developers could specify hints to the ORACLE
query optimizer.
 The idea is that an application developer might know more
information about the data.
11. Semantic Query Optimization
 Semantic Query Optimization:
 Uses constraints specified on the database schema in order to
modify one query into another query that is more efficient to
execute.

 Consider the following SQL query,

SELECT E.LNAME, M.LNAME
FROM EMPLOYEE E M
WHERE E.SUPERSSN=M.SSN AND E.SALARY>M.SALARY

 Explanation:
 Suppose that we had a constraint on the database schema that
stated that no employee can earn more than his or her direct
supervisor. If the semantic query optimizer checks for the
existence of this constraint, it need not execute the query at all
because it knows that the result of the query will be empty.
Techniques known as theorem proving can be used for this
purpose.